without licenses, subject to commission of offenses under the governing laws. The relevant undertakings include soliciting or providing channels for people in Thailand to make investment with the foreign
, including accepting an authorization from investors to trade or make investment decisions on their behalf are deemed to be misfeasance against the SEC?s Rules of Conduct. The SEC has repeatedly emphasized
Phuvanatnaranubala said: ?Now is the time for adjustment. Business merger, strategic planning, product innovation and improvement of professional conduct are some approaches securities companies can employ to make
attracting or persuading investors to make their decision because of premiums or gifts. ?Amid the current high competition environment, advertising and sales promotions produced by business operators often
give advice for those who are interested to operate business from now in order to make them understand standards in each aspect. This will be preparation for submitting applications for licenses once
Thailand will provide to each other with regard to cross-border equity offering and depositary receipt (DR), which can make a strong contribution to the successful implementation. Enhancing cooperation
collaboration with other 12 capital market organizations to encourage every sector in the capital market to make contributions to doing good deeds, jointly drive Thai capital market to sustainability based on
found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and
(SET) in case the business is listed on the SET.To support SMEs to fully make use of PE, the SEC has carried out five actions:(1) Revising rules to allow exemption for PE manager from holding securities
also publicly disclosed Nongan Saetung ' s inappropriate acts. The Theera Chaowanapreechasilp case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives